Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Richmond Capital Management Inc CRD: 104636 | - | 0 | 5 | - | Unknown |
| Richmond Financial Corporation CRD: 14742 | - | 0 | 0 | A | INACTIVE |
| Richmond Global Compass Fund Management, LP CRD: 300970 | - | 0 | 0 | - | Unknown |
| Richmond Global Ventures CRD: 174282 | - | 0 | 1 | - | Unknown |
| Richmond Hill Investment Co., LP CRD: 341072 | - | 0 | 1 | - | Unknown |
| Richmond Hill Investments, LLC CRD: 160762 | - | 0 | 0 | - | Unknown |
| Richmond Investment Services LLC CRD: 327451 | - | 0 | 5 | - | Unknown |
| Richmond Quantitative Advisors, LLC CRD: 288625 | - | 0 | 2 | - | Unknown |
| Richmond Securities Company CRD: 23475 | - | 0 | 0 | A | INACTIVE |
| Richmond Wealth Management LLC CRD: 226635 | - | 0 | 0 | - | Unknown |
| Richmor Securities, Inc. CRD: 16155 | - | 0 | 0 | A | INACTIVE |
| Richner Capital LLC CRD: 152281 | - | 0 | 1 | - | Unknown |
| Richr Money LLC CRD: 318725 | - | 0 | 0 | - | Unknown |
| Richter & Co., Inc. CRD: 12987 | - | 0 | 0 | A | INACTIVE |
| Richter Bober Asset Management, LLC CRD: 121956 | - | 0 | 0 | - | Unknown |
| Richview Advisors CRD: 281449 | - | 0 | 0 | - | Unknown |
| Richwood Investment Advisors, LLC CRD: 153550 | - | 0 | 1 | - | Unknown |
| Rick a. Herndon CPA/PFS CRD: 114104 | - | 0 | 0 | - | Unknown |
| Rick LAW Financial Services LLC CRD: 171491 | - | 0 | 2 | - | Unknown |
| Rick Osborn CRD: 116768 | - | 0 | 0 | - | Unknown |
| Rick Wang Financial, LLC CRD: 207513 | - | 0 | 0 | - | Unknown |
| Rickard Investment Consulting, LLC CRD: 339941 | - | 0 | 1 | - | Unknown |
| Rickel & Associates, Inc. CRD: 7839 | - | 0 | 0 | A | INACTIVE |
| Ricketts Financial, LLC CRD: 309381 | - | 0 | 1 | - | Unknown |
| Rickstar Financial, LLC CRD: 340844 | - | 0 | 1 | - | Unknown |
| Riddick & Co Entrepreneurial Finance, LLC CRD: 314790 | - | 0 | 2 | - | Unknown |
| Ride Home Fund, LLC CRD: 317237 | - | 0 | 1 | - | Unknown |
| Rideau Analytics, LLLP CRD: 165634 | - | 0 | 1 | - | Unknown |
| Rideau Lyons & Co. CRD: 17974 | - | 5 | 0 | C | INACTIVE |
| Rideau Retirement Planning Consultants, Inc. CRD: 27009 | - | 0 | 0 | A | INACTIVE |
| Ridge and Republic Financial CRD: 337907 | - | 0 | 1 | - | Unknown |
| Ridge Capital Advisors, LLC CRD: 283756 | - | 0 | 3 | - | Unknown |
| Ridge Capital Management, LLC CRD: 127200 | - | 0 | 3 | - | Unknown |
| Ridge Creek Global, Inc. CRD: 106992 | - | 0 | 3 | - | Unknown |
| Ridge Falls Financial Planning CRD: 335661 | - | 0 | 1 | - | Unknown |
| Ridge Financial Ltd. CRD: 29605 | - | 0 | 0 | A | INACTIVE |
| Ridge Investment Advisors CRD: 111997 | - | 0 | 1 | - | Unknown |
| Ridge Partners L.L.C. CRD: 118653 | - | 0 | 0 | A | INACTIVE |
| Ridge Realty Commerical Division CRD: 13953 | - | 0 | 0 | A | INACTIVE |
| Ridge Retirement Consultants, LLC CRD: 171273 | - | 0 | 0 | - | Unknown |
| Ridge Ventures CRD: 162304 | - | 0 | 1 | - | Unknown |
| Ridgeback Asset Management LP CRD: 289508 | - | 0 | 0 | - | Unknown |
| Ridgeback Capital Management CRD: 113848 | - | 0 | 1 | - | Unknown |
| Ridgeback Financial LLC CRD: 336614 | - | 0 | 1 | - | Unknown |
| Ridgeback Investment Advisors CRD: 318750 | - | 0 | 0 | - | Unknown |
| Ridgeback Securities, Ltd CRD: 120448 | TX | 0 | 4 | A | Active |
| Ridgeback Wealth Management CRD: 331999 | - | 0 | 1 | - | Unknown |
| Ridgebrooke Capital Management LLC CRD: 311117 | - | 0 | 4 | - | Unknown |
| Ridgebury Investment Advisors LLC CRD: 146348 | - | 0 | 0 | - | Unknown |
| Ridgecrest Wealth Partners, LLC CRD: 311984 | - | 0 | 2 | - | Unknown |